(A) The complaint
case record shall include only objective observations of items such as the
client's physical condition, behavior, conversations, and other facts that are
revealed during the course of the investigation. In addition, where appropriate
to the complaint, all complex complaint case records shall contain the
following:

(13) Copies of all correspondence sent or
received regarding the complaint;

(14) Copies of all documents gathered as a
part of the complaint-handling process;

(15) Copies of release of information forms
used to obtain documents or documentation showing how consent was obtained;
and,

(16) Documentation that
demonstrates the extent to which the client's desired outcome was achieved and
the reason the complaint and/or case is being closed.

(B) Complaint case records shall be retained
by the SLTCO or regional programs for three years after the case is closed.

(C) Representatives of the office
shall contemporaneously document all complaint-handling activity in the
"Ombudsman Documentation and Information System for Ohio" (ODIS). For the
purposes of this paragraph, "contemporaneously" shall be defined by regional
program policy approved by the SLTCO in accordance with rule
173-14-21 of the Administrative
Code.

(D) Access to case records
and other reports of ombudsman activity contained in the ombudsman
documentation and information system for Ohio (ODIS) by representatives of the
office, non-representative state staff, and sponsoring agency staff shall be
determined by the SLTCO.

(1) Access for
representatives of the office shall be in accordance with their level of
certification; and,

(2) Sponsoring
agency access is limited to the executive director of the sponsoring agency or
one designated senior staff member or one designated policy board member. No
representative of a sponsoring agency shall have the access to alter ombudsman
records.

(E)
Information contained in the investigative files maintained by the office and
the regional programs shall be released only at the discretion of the SLTCO or
if disclosure is required by a court order. Identities of clients, witnesses,
and complainants shall not be released absent a court order.

(1) When an investigative file, either in
whole or in part, or a request to submit to deposition or to testify in an
administrative or judicial proceeding, is requested by a party outside of the
office, the request must be submitted upon receipt to the office or the
regional program in writing for consideration;

(2) When any representative of the office
receives a request for an investigative file, either in whole or in part, or a
request to submit to deposition or to testify in an administrative or judicial
proceeding, the representative shall notify the SLTCO immediately by telephone;

(3) Within one business day after
notification, the ombudsman shall submit the written request and complete and
submit a form approved by the SLTCO to the SLTCO or the designee of the SLTCO
by facsimile transmission (in the case of a regional ombudsman receiving the
request) describing the case involved, the circumstance for the request, and
other required information in a format prescribed by the SLTCO;

(4) The SLTCO or the designee of the SLTCO
will review the records requested and discuss the circumstance with the
ombudsman in making a determination as to the release or withholding of
records;

(5) As appropriate, the
SLTCO or the designee of the SLTCO will secure permission from the resident or
complainant to release identity. Names and identifying information about
clients, complaints, and/or witnesses will not be released without written
consent of the affected individuals or their legally authorized representatives
who have the proper scope of authority to provide such consent, unless required
by court order. The SLTCO may request that the regional ombudsman seek the
required consent;

(6) The SLTCO or
the designee of the SLTCO will consult with the internal legal counsel of the
department of aging or the attorney general as needed;

(7) As necessary, and as requested by the
SLTCO, the role of the SLTCO's legal counsel will include:

(a) Negotiating with the party issuing the
request in order to implement the SLTCO determination;

(8) When an ombudsman requests a client at an
administrative hearing (e.g., discharge hearing, medicare/medicaid appeal
hearing) in accordance with an established action plan, the ombudsman may
present copies of client medical records obtained during the course of the
investigation with client consent as it is determined to be necessary in order
to represent the client and in accordance with ombudsman laws, rules, and
policies to protect confidentiality.